Federal Permit Application for an Annual Dealer Permit

Southeast Region Permit Family of Forms

Dealer App GSAD PRA 03DEC13 highlighted

Dealer permits

OMB: 0648-0205

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U.S. Department of Commerce, NOAA
NMFS PERMITS OFFICE, F/SER14
263 13th Avenue South
St. Petersburg, FL 33701
Toll Free 877-376-4877 (8:00 am. 4:30 p.m. ET)
727-824-5326 (8:00 a.m. 4:30 p.m. El)
sero,nmfs. noaa.gov

FEDERAL PERMIT APPLICATION FOR
AN ANNUAL DEALER PERMIT

-

-

FOR OFFICE USE ONLY
Reviewer’s Initials and Date
Permit Check or Money Order
Number and Amount

FOR OFFICE USE ONLY
Application ID

Sanctioned Case Number if
Sanctioned
SERO Dealer Number
Expiration Date(s)

SECTION 1 DEALER INFORMATION
-

Individual or Sole Proprietorship

Dealer entity is
(check one):

Partnership

Corporation

SERO Dealer Number

Other

if you already have
SERO Dealer permit(s)

I

-

I_________________

la. If the dealer isa partnership, corporation, or other business entity provide the business name, Federal Tax ID number, and date business was filed.
Name of Partnership, Corporation, or Business

Tax Identification Number (FEIN)

Date Business Formed (MM/DD/YYYY)

lb. If the dealer is an Individual or Sole Proprietorship complete the following information name, Social Security Number (SSN), and date of birth:
-

Mr/Mrs/Ms

Last Name

Tax Identification Number (SSN)

First Name

Middle Name

Date of Birth (MM/DD/YYYY)

Area Code

Suffix ir, Sr, etc.
-

Phone Number

ic. If you are operating under a different name,
what is your Doing Business As (DBA) name?

SECTION 2
Mailing Address

D

-

DEALER CONTACT INFORMATION
City

Apt #

Check box if the street address is the same as
the mailing address,

State

Zip Code

Country

Check box if this is a location where you receive product from
fishermen. More facilities may be added in section 5.

Street Address (P0 Box not acceptable)

Apt #

Area Code

Valid E-Mail Address

City

State

H
Phone Number

County/Parish

H

County/Parish

Zip Code

Country

H_____

Form Revision 12/03/2013

1

SECTION 3

-

PERMITS

Indicate which permit(s) and transaction(s) you are applying for. Find the fishery in the left column and mark the check box beside
that fishery to indicate which transaction you want.
NEW

RENEW

ED
ED
ED

Gulf of Mexico and South Atlantic Dealer (GSAD)
Atlantic Shark (SK)
(Includes the Gulf of Mexico and U.S. Caribbean)
Domestic Atlantic Swordfish (SD)
(Includes the Gulf of Mexico and U.S. Caribbean)

SECTION 4 COMPANY OFFICER and SHAREHOLDER INFORMATION
-

Complete Section 4 only if the Dealer listed in Section 1 is a Corporation, Partnership, or other business entity Skip this section if the
Dealer listed in Section 1 is an individual or sole proprietorship. Copy this page as needed to provide information on each officer or
partner associated by partnership, corporation, or other business relationship to the Dealer.
Position Held Check ALL That Apply
-

President/CEO
Mr/Mrs/Ms

Vice President

Last Name

Tax Identification Number (SSN)

Mailing Address

D

Secretary

Treasurer

Director/ Manager

First Name

Middle Name

Date of Birth (MM/DD/YYYY)

Area Code

Apt #

City

Shareholder

lOther

Suffix ir, Sr, etc.
-

Phone Number

State

County/Parish

Zip Code

Country

State

County/Parish

Zip Code

Country

Check box if the street address is the same as the mailing address.

Street Address (P0 Box not acceptable)

Apt #

City

Position Held Check ALL That Apply
-

President/CEO
Mr/Mrs/Ms

Vice President

Last Name

Tax Identification Number (SSN)

Mailing Address

Secretary

Treasurer

Director! Manager

First Name

Middle Name

Date of Birth (MM/DD/YYYY)

Area Code

Apt #

City

Other

Shareholder

Suffix ir, Sr, etc.
-

Phone Number

State

County/Parish

Zip Code

Country

State

County/Parish

Zip Code

Country

Check box if the Street address is the same as the mailing address.
Street Address (PC Box not acceptable)

Apt #

City

2

SECTION 5

-

RECEIVING FACILITIES

List the names and Street addresses for facilities where product is received (fish is off loaded from the fishing vessels). Please copy
this page as needed to provide information on all facilities where fish are received. If you marked in section 2 that your street
address is a receiving facility, you do not need to re-list it here.

Business Name

Phone Number

Area Code

Street Address (P0 Box not acceptable)

Apt #

City

County/Parish

State

Area Code

Business Name

Street Address (P0 Box not acceptable)

Apt #

City

City

State

Zip Code

County/Parish

Zip Code

H
Area Code

Business Name

L
Street Address (P0 Box not acceptable)

Apt #

l
l

City

State

Business Name

Apt #

II
l II

City

State

Apt #

City

County/Parish

Apt #

State

II

II
Street Address (P0 Box not acceptable)

Apt #

II

City

State

II

II
3

l

I
Zip Code

Country

II

II

Phone Number

County/Parish

II

Country

Phone Number

County/Parish

Area Code

Business Name

Country

Zip Code

l

I
II II

City

Zip Code

II
Area Code

Street Address (P0 Box not acceptable)

II

Phone Number

II

Business Name

Country

Phone Number

County/Parish

State

II

Zip Code

II

1
Street Address (P0 Box not acceptable)

H__

1
County/Parish

Area Code

Business Name

Country

Phone Number

Area Code

Street Address (P0 Box not acceptable)

Country

Phone Number

Area Code

Apt 1*

Country

Phone Number

County/Parish

State

Business Name

Street Address (P0 Box not acceptable)

Zip Code

Zip Code

II

Country

II

I

SECTION 6

-

STATE WHOLESALERS LICENSES

Complete the following and provide a copy of each state wholesalers license held by the dealer.
State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

State Wholesaler
License Number

State
Issued By

Other Federal permits or licenses held (issued from a
Federal permit office outside of the Southeast Region).

SECTION 7 SIGNATURE FOR APPLICATION
-

-

REQUIRED

The undersigned certifies under penalty of perjury that the foregoing information is true and correct (28 U.S.C. section 1746; 18 U.S.C.
section 1621; 18 U.S.C. section 1001).
Please note: The applicant who signs below must be the dealer identified in Section 1 unless the dealer is a partnership, corporation, or
other business entity, in which the applicant must be an individual named as an officer or shareholder of the business as listed in
Section 4.

Applicant Signature

Date

Printed Name

Position In Company (if applicable)

Payment Reminder:

All applications must include payment of a non-refundable application fee in the form of o check or money order made payable to the
U.S. Treasury. The fee required is $50.00 far the first permit and $12.50 far each additional permit requested with this application.

Public reporting burden for this collection of information is estimated to average 20 minutes per response, including the time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any
other suggestions for reducing this burden to PRA Officer, National Marine Fisheries Service, F/SER26, 263 13th Avenue South, St. Petersburg, FL 33701.
The National Marine Fisheries Service requires this information for the conservation and management of marine fishery resources. The data reported will be used to develop,
implement, and monitor fishery management activities for a variety of other uses. Responses to this collection are required to obtain or retain a fisheries permit under the
Magnuson Stevens Act. Name and address information will be released via a NOAA website. All other data submitted will be handled as confidential material in accordance
with NOAA Administrative Order 216-100, Protection of Confidential Fishery Statistics. Notwithstanding any other provisions of the law, no person is required to respond to,
nor shall any person be subjected to a penalty for failure to comply with, a collection of information subject to the requirements of the Paperwork Reduction Act, unless that
collection of information displays a currently valid 0MB Control Number.
-

4

_.t

+
4
oCo

Federal Annual Dealer Permit
Application Instructions

*

Rev 11/25/2013

General Instructions:
In addition to the instructions provided, applicants with specific questions are encouraged to contact
the Permits Office at (727) 824-5326 or toll free at (877) 376-4877 between 8:00 a.m. and 4:30 p.m. ET.
Applicants are encouraged to visit the Southeast Region Permits Office website at
permits.sero. nmfs. n oaa.gov.
Please consult the U.S. Code of Federal Regulations whose guidance for application requirements,
permit eligibilities, and related information will always prevail. Access to the U.S. Code of Federal
Regulations is available on line at sero.nmfs.noaa.gov/sustainable_fisheries/policy_branch.
Federal regulations require a permit holder to report any permit information change to NMFS, in writing, within 30

days.
1.

Complete all applicable sections of this application form. All application fields should be typed or printed in ink.
NMFS will return incomplete or illegible applications.

2.

The application fee is $50 for one permit and $12.50 for each additional permit and is non-refundable. NMFS
will not refund money for denied permits. A check or money order payable to the U.S. TREASURY must accompany
each application.
FEE SCHEDULE FOR DEALER PERMITS:
1

=

$50.00

2

=

$62.50

3

=

$75.00

3.

Mail the application, payment, and all required supporting documentation to: National Marine Fisheries Service
(FISERI4), 263 13th Avenue South, St. Petersburg, FL 33701. If you want your permit and associated documents
returned overnight, enclose a completed, pre-paid air bill and envelope. Include your physical street delivery
address, telephone number, and account number or major credit card number with the expiration date. Note: FedEx,
UPS, and most other commercial carriers do not deliver to P0 Boxes. Using a prepaid overnight delivery option
does not expedite permit processing; it only expedites delivery of your completed permit package.

4.

Atlantic Shark Dealers must submit a copy of a valid Atlantic Shark Identification Workshop certificate for each place
of business listed on the shark dealer permit. The certificate must be either a SHARK DEALER OWNER SHARK
IDENTIFICATION WORKSHOP CERTIFICATE or a SHARK DEALER PROXY SHARK IDENTIFICATION
WORKSHOP CERTIFICATE. If you have submitted a copy of your certificate(s) and it is not expired, you do not
have to resubmit the document(s). For information about Shark Identification Workshops, contact the NMFS Highly
Migratory Species Division at (301) 713-2347.
-

-

Please note SHARK DEALER PROXY CERTIFICATE is only valid for a permit renewal and NMFS will not accept it
permit.
for a
—

APPLICATION SECTION 1 concerns the business or individual dealer requesting the permit.
Section Ia If the dealer is a partnership, corporation, or other business entity, print or type the name of the business as
shown on your business license and enter all other information required.
—

Section lb
Section ic

-

-

If the dealer is an individual, enter the required information.
If the dealer is doing business as a separate business name (DBA), print or type that name.

APPLICATION SECTION 2 is the contact information for the dealer identified in Section 1.
Print or type the dealer’s mailing and physical address and telephone number as applicable. A Post Office box may not be
used as a physical address. Mark the check box if the physical address is also a facility where product is received from
fishermen. Provide a valid email address if applicable.
Page 1 of2

APPLICATION SECTION 3 concerns the permit(s) being requested.
Select the permits you are applying for. Under U.S. Code of Federal Regulations Title 50 section 622, a dealer who
receives the following fish is required to hold an annual Federal Gulf of Mexico and South Atlantic Dealer permit:
Atlantic Dolphin / Wahoo
South Atlantic Snapper-Grouper
South Atlantic Golden Crab
South Atlantic Wreckfish
Gulf of Mexico Reef Fish
South Atlantic Rock Shrimp
Spiny Lobster
Mackerel
Under U.S. Code of Federal Regulations Title 50 section 635.4, a dealer who receives the following fish are required to hold the
applicable Highly Migratory Species Dealer permit:
Sharks
Swordfish
APPLICATION SECTION 4 concerns the officers, shareholders, or owners if the dealer in Section 1 is a business.
For businesses, provide information on the officers/shareholders. If additional space is needed, please photocopy or print
the blank page as many times as necessary to provide information on all officers/shareholders associated with the dealer.
APPLICATION SECTION 5 concerns the physical facilities where fish are received.
Provide information for each physical location where fish are received. If you marked the check box in section 2 to
indicate that physical address as receiving facility, do not list it in section 5. Note: A Post Office Box is not an
acceptable physical location where fish are received.
APPLICATION SECTION 6 concerns state wholesale licenses or other Federal dealer permits.
Provide the applicable information and a copy of the state wholesale licenses for each following states in which the dealer
has a facility:
Alabama
Alaska
California
Connecticut
Delaware
Florida
Georgia
Hawaii
Illinois
Iowa
Louisiana
Maine
Massachusetts
Michigan
Maryland
Minnesota
Mississippi
New Hampshire
New York
North Carolina
Ohio
Oregon
Rhode Island
South Carolina
Texas
Washington
Tennessee
Wisconsin
If you have a facility in one of the above states and you believe there is no requirement to have a state wholesale license,
please provide an explanation of that exemption.
Also, provide the permit number of any Federal dealer permits issued (for example, a dealer permit issued by the NMFS
Northeast Regional Office).
APPLICATION SECTION 7 is the application signature.
The applicant must sign and date the application. The signee must be an officer or shareholder if the dealer is a
corporation, partnership, or other business entity.

KNOWINGLY SUPPLYING FALSE INFORMATION TO OBTAIN A DEALER PERMIT IS A VIOLATION OF FEDERAL
LAW PUNISHABLE BY A FINE ANDIOR IMPRISONMENT.
Public reporting burden for this collection of information is estimated to average 20 nnutes per response, including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and corrpletirrg and reviewing the collection of information, Send comments regarding this burden estimate or any other suggestions for redudng this burden to: PRA
Officer, National Marine Fisheries Service, F/SER26, 263 13’ Avenue South, St. Petersburg, FL 33701.
The National Marine Fisheries Service requires this information for the conservation and management of marine fishery resources. The data reported will be used to develop, implement, and n’mnitor fishery
management activities for a variety of other uses. Responses to this collection are required to obtain or retain a fisheries permit under the Magnuson Stevens Act. Non-confidential information may be
released via a NOM Fisheries website. Non-confidential inrmation means: Name, Street Address, City, State, Zip Code, Effective Date of Permit, Permit Types, Vessel Name, Vessel Identification
Number, and in the case of a “for hire” vessel the Passenger Capacity, or individual, corporate and lease holders of permits. All other data submitted will be handled as confidential material in accordance
with NOM Administrative Order 216-1 00, Protection Of Confidential Fishery Statistics. Notwithstanding any other prodsions of the law, no person is required to respond to, nor shall any person be
subjected to a penalty for failure to comply with, a collection of information subject to the requirements of the Paperwork Reduction Act, unless that collection of information displays a currently valid 0MB
Control Nunter.
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Page 2 of2


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